SEC Form 4 · accession 0000927628-17-000304
CAPITAL ONE FINANCIAL CORP · COF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yajnik Sanjiv
Officer — President, Financial Services
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 8:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000927628
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 4, 2017 | M | 37,204 | $48.28 | A | 207,418 | D | |
| Common StockF1 | Dec 4, 2017 | S | 30,652 | $95.00 | D | 176,766 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1,F3 | $48.28 | Dec 4, 2017 | M | 37,204 | D | — | Jan 25, 2021 | Common Stock | 37,204 | 0 | D |
Explanation of responses
- F1This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
- F3This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.